PROHIBITION ON COUNSEL AS WITNESS

(a) Refusing Employment When Counsel May Be Called as a Witness A lawyer shall not accept employment in contemplated or pending litigation if he or she knows or it is obvious that he or she or a lawyer in the same firm ought to be called as a witness, except that he or she may undertake the employment and he or she or a lawyer in his or her firm may testify: 1. If the testimony will relate solely to an uncontested matter. 2. If the testimony will relate solely to a matter of formality and there is no reason to believe that substantial evidence will be offered in opposition to the testimony.

3. If the testimony will relate solely to the nature and value of the legal services rendered in the case by the lawyer or the law firm to the client. (b) Withdrawal as Counsel When the Lawyer Becomes a Witness If, after undertaking employment in contemplated or pending litigation, a lawyer learns or it is obvious that he or she or a lawyer in the same firm ought to be called as a witness on behalf of the client, he or she shall withdraw from the conduct of the trial and the law firm shall not continue representation in the trial, except that the lawyer may continue the representation, and he or she or a lawyer in the law firm may testify in the circumstances enumerated in Rule 83.13(a). If, after undertaking employment in contemplated or pending litigation, a lawyer learns or it is obvious that he or she or a lawyer in the same firm may be called as a witness other than on behalf of his or her client, the lawyer may continue the representation until it is apparent that his or her testimony is or may be prejudicial to the client.

(c) Discretion of Court To Provide Relief From This Rule When Lawyer In Same Firm Is Likely To Be A Witness The court may in the exercise of its sound discretion permit a lawyer to act as an advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness if disqualification of the lawyer would work substantial hardship on the client and permitting the lawyer to act as an advocate would not cause prejudice to opposing parties. 98 CIVIL APPENDIX FORM 26(f) REPORT OF PARTIES’ PLANNING MEETING STANDING ORDER ON SCHEDULING IN CIVIL CASES STANDING ORDER REGARDING TRIAL MEMORANDA IN CIVIL CASES STANDING ORDER IN CIVIL RICO CASES STANDING ORDER IN REMOVED CASES ORDER RE DISCLOSURE STATEMENT ORDER REGARDING DEPOSIT AND INVESTMENT OF REGISTRY FUNDS 99 FORM 26(F) REPORT OF PARTIES’ PLANNING MEETING (Amended September 15, 2025) Caption of Case [List all parties] Date Complaint Filed: Date Complaint Served: Date of Defendant's Appearance: Pursuant to Fed. R. Civ. P. 16(b), 26(f) and D. Conn.

L. Civ. R. 16, a conference was held on [date(s)].

The participants were: ________________________________ for plaintiff [party name] ________________________________ for defendant [party name] I. Certification Undersigned counsel (after consultation with their clients) and any undersigned self- represented parties certify that (a) they have discussed the nature and basis of the parties' claims and defenses and any possibilities for achieving a prompt settlement or other resolution of the case; and (b) they have developed the following proposed case management plan. Counsel further certify that they have forwarded a copy of this report to their clients. II. Jurisdiction A. Subject Matter Jurisdiction [Provide a statement of the basis for subject matter jurisdiction with appropriate statutory citations.

If defendant denies plaintiff's allegation of subject matter jurisdiction, defendant must specify the basis for the denial. In cases where the basis for subject matter jurisdiction is diversity of citizenship, if any party is a partnership, limited liability partnership, or limited liability company or corporation, provide the citizenship of each partner, general partner, limited partner and/or member, and if any such partner, general partner, limited partner or member is itself a 100 partnership, limited liability partnership, or limited liability company or corporation, provide the citizenship of each partner and/or member.] B. Personal Jurisdiction [State whether personal jurisdiction is contested and, if it is, summarize the parties' competing positions].

III.

Brief Description of Case [Briefly summarize the claims and defenses of all parties and describe the relief sought. If the parties cannot reach agreement on a joint statement, each party must provide a short separate statement. The requirement that the parties briefly summarize their claims and defenses is not intended to be unduly burdensome. The parties are obliged to discuss and consider the nature of their claims and defenses at the planning conference in order to formulate a meaningful case management plan.

Moreover, the presiding judge needs to be informed of the nature of the claims and defenses in order to evaluate the reasonableness of that proposed plan. The statement of the parties' claims and defenses, whether set forth jointly or separately, does not preclude any party from raising new claims and defenses as permitted by other applicable law.] A. B. Claims of Plaintiff/s: Defenses and Claims (Affirmative Defenses, Counterclaims, Third Party Claims, Cross Claims)(either pled or anticipated) of Defendant/s: C. Defenses and Claims of Third Party Defendant/s: IV. Statement of Undisputed Facts [The Court expects that in most cases there will be facts that are not genuinely disputed, and urges counsel and self-represented parties to assist the Court in identifying such facts, as part of their obligation to promote the “just, speedy and inexpensive determination of every action.”] Counsel and self-represented parties certify that they have made a good faith attempt 101 to determine whether there are any material facts that are not in dispute. The following material facts are undisputed: V. A. Case Management Plan: Initial Disclosures Initial disclosures will be served by ______________.

B. Scheduling Conference 1.

The parties [request] [do not request] to be excused from holding a pretrial conference with the Court before entry of a scheduling order pursuant to Fed. R. Civ. P. 16(b). 2. The parties prefer that a scheduling conference, if held, be conducted [in person] [by telephone].

C. Early Settlement Conference 1.

The parties certify that they have considered the potential benefits of attempting to settle the case before undertaking significant discovery or motion practice. Settlement [is likely] [is unlikely at this time] [may be facilitated by use of the following procedure]: ___________________________________________________. 2. 3.

The parties [request] [do not request] an early settlement conference. The parties prefer a settlement conference, when such a conference is held, with [the presiding judge] [a magistrate judge] or [a parajudicial officer (attorney appointed by the court on a pro bono basis)]. 4. The parties [request] [do not request] a referral for alternative dispute resolution pursuant to D. Conn.

L. Civ. R. 16 and 28 U.S.C. § 651.

D. Joinder of Parties, Amendment of Pleadings, and Motions Addressed to the Pleadings 102 The parties have discussed any perceived defects in the pleadings and have reached the following agreements for resolution of any issues related to the sufficiency of the pleadings. 1. Plaintiff(s) should be allowed until [date] to file motions to join additional parties and until [date] to file motions to amend the pleadings. Motions filed after the foregoing dates will require, in addition to any other requirements under the applicable rules; a showing of good cause for the delay.

2. Defendant(s) should be allowed until [date] to file motions to join additional parties and until [date] to file a response to the complaint, or any amended complaint. Motions filed after the foregoing dates will require, in addition to any other requirements under the applicable rules, a showing of good cause’ for the delay. E. a. Discovery Recognizing that the precise contours of the case, including the amounts of damages at issue, if any, may not be clear at this point in the case, in making the proposals below concerning discovery, the parties have considered the scope of discovery permitted under Fed. R. Civ. P. 26(b)(1).

At this time, the parties wish to apprise the Court of the following information regarding the “needs of the case” : Plaintiff’s Position: Defendant’s Position (if different): b. The parties anticipate that discovery will be needed on the following subjects: [list each of the principal issues of fact on which discovery will be needed; a statement that, e.g., “discovery will be needed on liability and damages” is insufficient]. c. All discovery, including depositions of expert witnesses pursuant to Fed. R. Civ. P. 26(b)(4), will be commenced by [date] and completed (not propounded) by [date]. d. Discovery [will] [will not] be conducted in phases. 103 e. If discovery will be conducted in phases, describe each phase and state the date by which it will be completed by f. The parties anticipate that the plaintiff(s) will require a total of ____ depositions of fact witnesses and that the defendant(s) will require a total of ____ depositions of fact witnesses. The depositions will commence by [date] and be completed by [date]. g. The parties [will] [will not] request permission to serve more than 25 interrogatories. h. Plaintiff/s [intend] [do not intend] to call expert witnesses at trial. Defendant/s [intend] [do not intend] to call expert witnesses at trial. i. Parties will designate all trial experts and provide opposing counsel with reports from retained experts pursuant to Fed. R. Civ. P. 26(a)(2) on any issues on which they bear the burden of proof by [a date not later than 3 months before the deadline for completing all discovery].

Depositions of any such experts will be completed by [a date not later than 2 months before the deadline for completing all discovery]. j. Parties will designate all trial experts and provide opposing counsel with reports from retained experts pursuant to Fed. R. Civ. P. 26(a)(2) on any issues on which they do not bear the burden of proof by [a date not later than 1 month before the deadline for completing all discovery]. Depositions of such experts will be completed by [a date not later than the discovery cutoff date]. k. A damages analysis will be provided by any party who has a claim or counterclaim for damages by [date]. l. Undersigned counsel (after consultation with their respective clients concerning computer-based and other electronic information management systems, including historical, archival, back-up and legacy files, in order to understand how information is stored and how it may be retrieved) and self-represented parties have discussed the disclosure and preservation of electronically stored information, including, but not limited to, the form in which such data shall 104 be produced, search terms and/or other techniques to be used in connection with the retrieval and production of such information, the location and format of electronically stored information, appropriate steps to preserve electronically stored information, and the allocation of costs of assembling and producing such information. [The parties agree to the following procedures for the preservation, disclosure and management of electronically stored information [OR the parties have been unable to reach agreement on the procedures for the preservation, disclosure and management of electronically stored information. Following is the position of each party:] [SPECIFY]. m. Undersigned counsel (after consultation with their clients) and self-represented parties have also discussed the location(s), volume, organization, and costs of retrieval of information stored in paper or other non-electronic forms. The parties agree to the following procedures for the preservation, disclosure and management of such information [OR: The parties have been unable to reach agreement on the procedures for the preservation, disclosure and management of such information.

Following is the position of each party]: [SPECIFY]. n. Undersigned counsel and self-represented parties have discussed discovery procedures that minimize the risk of waiver of privilege or work-product protection, including the method and timing of the production of a privilege log and the procedures for asserting privilege claims after production. Specifically, if a producing party withholds production of any records on the basis of privilege, within [X] days of production, the producing party shall provide a privilege log. Further, the parties agree to the following procedures for asserting claims of privilege after production [OR] The parties have been unable to reach agreement on the procedures for asserting claims of privilege after production. Following is the position of each party: [SPECIFY].

F. Other Scheduling Issues The parties propose the following schedule for addressing other issues pertinent to this case [e.g., class certification, claim construction]: 105 G. Summary Judgment Motions: Summary judgment motions, which must comply with Local Rule 56, will be filed on or before [date]. H. Joint Trial Memorandum The joint trial memorandum required by the Standing Order on Trial Memoranda in Civil Cases will be filed by [date]. VI.

TRIAL READINESS

The case will be ready for trial by [date]. As officers of the Court, undersigned counsel agree to cooperate with each other and the Court to promote the just, speedy and inexpensive determination of this action. Plaintiff By ___________________________ Date: _____________________________ Defendant By ___________________________ Date: _____________________________ The undersigned self-represented parties certify that they will cooperate with all other parties, counsel and the Court to promote the just, speedy and inexpensive determination of this action. Plaintiff __________________________ Date: _____________________________ Defendant ________________________ Date: _____________________________ 106 CIVIL STANDING ORDERS STANDING ORDER ON SCHEDULING IN CIVIL CASES (Amended July 30, 2018) 1.

Order on Pretrial Deadlines. Except in cases exempted by D. Conn. L. Civ. R. 16, the Clerk, acting pursuant to the authority of the Court, shall enter in each civil action an Order on Pretrial Deadlines, which Order shall contain the deadlines listed in paragraph 2 of this Standing Order. The Clerk shall enter the Order at the time of the filing of the complaint, and the Order shall control the course of the action until a further Scheduling Order is issued pursuant to Fed.R.Civ.P. 16(b) and D. Conn.

L. Civ. R. 16.

2. Presumptive Deadlines. Unless otherwise ordered by the presiding Judge, parties in civil cases shall adhere to the following deadlines: (a) All motions relating to joinder of parties or amendment of the pleadings shall be filed within the latest of the following: (i) 35 days after the appearance of the last defendant or (ii) 60 days after the filing of the complaint, the filing of a petition for removal, or the transfer of an action from another District, except that a defendant may file a third-party complaint within 14 days of serving an answer, as permitted by Fed.R.Civ.P. 14(a). (b) The filing of a motion to dismiss shall not result in a stay of discovery or extend the time for completing discovery.

(c) Formal discovery pursuant to the Federal Rules of Civil Procedure may not commence until the parties have conferred as required by Fed.R.Civ.P. 26(f) and Local Civil Rule 16 but the parties may commence formal discovery immediately thereafter without awaiting entry of a scheduling order pursuant to Fed.R.Civ.P. 16(b). Informal discovery by agreement of the parties is encouraged and may commence at any time. Unless otherwise ordered, discovery shall be completed within 6 months after the latest of the following: the filing of the complaint, the 107 filing of a petition for removal, the transfer of an action from another District, or the appearance of the last defendant. (d) Unless otherwise ordered, all motions for summary judgment shall be filed within 35 days after the deadline for completion of discovery.

3. Modification. A Scheduling Order issued pursuant to this Standing Order may be modified by a stipulation signed by all parties and approved by the presiding Judge, or on motion by any party for good cause shown or by the presiding Judge acting sua sponte. The good cause standard requires a particularized showing that the schedule established by this order cannot reasonably be met despite the diligence of the party seeking the extension.

108 STANDING ORDER REGARDING TRIAL MEMORANDA IN CIVIL CASES (Amended October 26, 2017) At the discretion of the presiding Judge, each party may be ordered to prepare and submit, or the parties may be ordered to jointly prepare and submit, a trial memorandum which shall contain the following information: 1. Trial Counsel. List the names, addresses and telephone numbers of the attorneys who will try the case. Trial counsel must attend the pretrial conference unless excused by the Court.

2. Jurisdiction. Set forth the basis for federal jurisdiction. 3.

Jury/Non-jury. State whether the case is a jury or court case. 4. Nature of Case.

State separately the nature of each cause of action and relief sought. 5. Stipulations of Fact and Law. Prepare a list of stipulations on any issues of fact and/or law as to which the parties have been able to agree.

6. Plaintiff's Contentions. State generally the plaintiff's factual contentions with respect to each cause of action. 7.

Defendant's Contentions. State generally the defendant's factual contentions with respect to defenses, counterclaims and setoffs. 8. Legal Issues.

List the legal issues presented by the factual contentions of the parties. 9. Voir Dire Questions. For jury cases, attach a list of proposed questions to be submitted to the jury panel.

109 10. List of Witnesses. Set forth the name and address of each witness to be called at trial, with a brief statement of the anticipated testimony. Witnesses not listed, except rebuttal and impeachment witnesses, will not be permitted to testify at trial, except for good cause shown.

11. Exhibits. Attach a list of all exhibits, with a brief description of each, that each party will offer at trial on the case-in-chief. Exhibits not listed, except rebuttal and impeachment exhibits, will not be admissible at trial except for good cause shown.

All objections to designated exhibits, except as to relevance, must be filed in writing, to be resolved between the parties or by Court ruling prior to jury selection. 12. Deposition Testimony. List each witness who is expected to testify by deposition at trial.

Such list shall include designation by page references of the deposition transcript which each party proposes to read into evidence. Cross-designations shall be listed as provided by Fed.R.Civ.P. 32(a)(4). The lists shall include all objections to deposition designations. These objections must be resolved between the parties or by Court ruling prior to jury selection.

After submission, the Court will permit amendment of the lists only for good cause shown. At the time of trial, the Court will permit reading of testimony from a deposition only in the order in which it was taken. 13. Requests for Jury Instructions.

For jury cases, attach requests for the jury charge. 14. Anticipated Evidentiary Problems. Attach memoranda of fact and law concerning evidentiary problems anticipated by the parties.

15. Proposed Findings and Conclusions. For non-jury cases, attach proposed findings of fact and conclusions of law. 16.

Trial Time. Counsel shall set forth a realistic estimate of trial days required. 17. Courtroom Technology Counsel shall indicate whether they will require the use of courtroom technology during the trial.

If such technology will be required, counsel shall specifically indicate in the trial memorandum that the request for such technology will be submitted on the Request for Courtroom Technology Form (located on the Court’s website) at least two weeks prior to the scheduled trial date. Failure to submit the Request Form in a timely manner may preclude the use of such technology. 110 18. Further Proceedings.

Specify, with reasons, the necessity of any further proceedings prior to trial. 19. Election for Trial by Magistrate Judge. The parties shall indicate whether they have agreed to have the case tried by a United States Magistrate Judge, and if so, indicate whether the parties have elected to have any appeal heard by the District Court or by the Court of Appeals.

111 STANDING ORDER IN CIVIL RICO CASES (Amended March 19, 2018) In all civil actions where the pleading contains a cause of action pursuant to 18 U.S.C. §§ 1961–1968 (“RICO”) the party asserting the RICO claim shall file a RICO Case Statement within twenty (20) days of filing the first pleading asserting the RICO claim. Consistent with counsel's obligations under Fed.R.Civ.P. 11 to make a “reasonable inquiry” prior to the filing of the complaint, the RICO Case Statement shall state in detail the following information: 1. The alleged unlawful conduct that is claimed to be in violation of 18 U.S.C. §§ 1962(a), (b), (c) and/or (d). 2.

The identity of each defendant and the alleged misconduct and basis of liability of each defendant. 3. The identity of the alleged wrongdoers, other than the defendants listed in response to paragraph 2, and the alleged misconduct of each wrongdoer. 4.

The identity of the alleged victims and the manner in which each victim was allegedly injured. 5. A description of the pattern of racketeering activity or collection of unlawful debts alleged for each RICO claim, which shall include the following information: a. The alleged predicate acts and the specific statutes which were allegedly violated; b. The dates of the predicate acts, the participants in the predicate acts, and a description of the facts surrounding the predicate acts; c. If the RICO claim is based on the predicate offenses of wire fraud, mail fraud, or fraud in the sale of securities, the “circumstances constituting fraud or mistake shall be stated with particularity.” Fed.R.Civ.P. 9(b). The time, place and contents of the alleged misrepresentations, and the identity of persons to whom and by whom the alleged misrepresentations were made shall be identified; 112 d. Whether there has been a criminal conviction for violation of the predicate acts; e. Whether civil litigation has resulted in a judgment in regard to the predicate acts; f. The manner in which the predicate acts form a “pattern of racketeering activity”; and g. Whether the alleged predicate acts relate to each other as part of a common plan, and if so, a detailed description of the common plan.

6. A detailed description of the alleged enterprise for each RICO claim, which shall include: a. The names of the individuals, partnerships, corporations, associations, or other legal entities, which allegedly constitute the enterprise; b. The structure, purpose, function and course of conduct of the enterprise; c. Whether any defendants are employees, officers or directors of the alleged enterprise; d. Whether any defendants are associated with the alleged enterprise; e. Whether plaintiff contends that the defendants are individuals or entities separate from the alleged enterprise, or that the defendants are the enterprise itself, or members of the enterprise; and f. If any defendants are alleged to be the enterprise itself, or members of the enterprise, an explanation as to whether such defendants are perpetrators, passive instruments, or victims of the alleged racketeering activity. 7. Whether plaintiff contends that the pattern of racketeering activity and the enterprise are separate or have merged into one entity.

8. The alleged relationship between the activities of the enterprise and the pattern of racketeering activity, including a description of the manner in which the racketeering activity differs, if at all, from the usual and daily activities of the enterprise. 9. The benefits, if any, the alleged enterprise receives or has received from the alleged pattern of racketeering.

113 10. The effect of the activities of the enterprise on interstate or foreign commerce. 11. If the complaint alleges a violation of 18 U.S.C. § 1962(a), provide the following information: a. The identity of the individual(s) who received the income derived from the pattern of racketeering activity or through the collection of an unlawful debt; and b. The use or investment of such income.

12. If the complaint alleges a violation of 18 U.S.C. § 1962(b), describe in detail the acquisition or maintenance of any interest in or control of the alleged enterprise. 13. If the complaint alleges a violation of 18 U.S.C. § 1962(b), provide the following information: a. The individuals who are employed by or associated with the enterprise; and b. Whether the same entity is both the liable “person” and the “enterprise” under § 1962(c).

14. If the complaint alleges a violation of 18 U.S.C. § 1962(d), describe in detail the alleged conspiracy. 15. The alleged injury to business or property.

16. The direct causal relationship between the alleged injury and the violation of the RICO statute. 17. The damages sustained for which each defendant is allegedly liable.

18. A description of other federal causes of action alleged in the complaint, if any, and citation to the relevant statutes. 19. A description of all pendent state claims alleged in the complaint, if any.

20. Any additional information plaintiff feels would be helpful to the Court in processing the RICO claim. 114 STANDING ORDER ON REMOVED CASES (Amended December 19, 2022) All parties removing actions to this Court pursuant to 28 U.S.C. § 1441 shall, no later than seven (7) days after filing a notice of removal, file and serve a signed statement that sets forth the following information: 1. The date on which each defendant first received a copy of the summons and complaint in the state court action.

2. The date on which each defendant was served with a copy of the summons and complaint, if any of those dates are different from the dates set forth in item 1. 3. In an action in which jurisdiction is based on diversity under 28 U.S.C. § 1332(a), a party or intervenor must, unless the court orders otherwise, file a disclosure statement.

That statement must name and identify the citizenship of every party. If any party is a partnership, limited liability partnership, limited liability company, or other unincorporated association, the statement must provide citizenship information about that party’s members. If any party is a corporation, the statement must provide that party’s state or other jurisdiction of incorporation and its principal place of business. The statement shall be filed when the action is filed in or removed to federal court and when any party is added to the action, or when another later event occurs that could affect the court’s jurisdiction under § 1332(a).

4. If removal takes place more than thirty (30) days after any defendant first received a copy of the summons and complaint, the reasons why removal has taken place at this time. 5. The name of any defendant served prior to the filing of the notice of removal who has not formally joined in the notice of removal and the reasons why any such defendant did not join in the notice of removal.

6. For each party, list the name and firm name of all counsel of record for that party 115 or state that the party is self-represented. At the time a removal notice is filed with the Clerk of this Court, the removing party shall also file with the Clerk a separate notice, entitled “Notice of Pending Motions,” specifying any pending motions that require action by a Judge of this Court and attaching a true and complete copy of each such motion and all supporting and opposition papers. NOTICE TO COUNSEL RE LOCAL RULE 5(b) To ensure that our records are complete and to ensure that you receive notice of hearings and any court rulings, PLEASE FILE AN APPEARANCE with this office in accordance with Local Rule 5(b) of the Local Rules of Civil Procedure for the District of Connecticut.

Counsel for the removing defendant(s) is responsible for immediately serving a copy of this notice on all counsel of record and all self-represented parties at their last known addresses. 116 ORDER RE: DISCLOSURE STATEMENT (Amended December 19, 2022) Any non-governmental corporate party to an action in this court, or any non-governmental party who seeks to intervene, shall file a statement identifying all its parent corporations and listing any publicly held company that owns 10% or more of the party’s stock. A party shall file the statement with its initial pleading filed in the court and shall supplement the statement within a reasonable time of any change in the information. Citizenship of Parties in Diversity Cases Parties or intervenors in a diversity case: in an action in which jurisdiction is based on diversity under 28 U.S.C. § 1332(a), a party or intervenor must, unless the court orders otherwise, file a disclosure statement.

In addition to the information set forth above (if applicable), the statement must name and identify the citizenship of every party. If any party is a partnership, limited liability partnership, limited liability company, or other unincorporated association, the statement must provide citizenship information about that party’s members. If any party is a corporation, the statement must provide that party’s state or other jurisdiction of incorporation and its principal place of business. The statement shall be filed when the action is filed in or removed to federal court and when any party is added to the action, or when another later event occurs that could affect the court’s jurisdiction under § 1332(a).

Counsel for plaintiff(s) or removing defendant(s) shall be responsible for serving a copy of this order upon all parties to the action. 117 ORDER REGARDING DEPOSIT AND INVESTMENT OF REGISTRY FUNDS (Amended November 1, 2024) The Court, having determined that it is necessary to adopt local procedures to ensure uniformity in the deposit, investment, and tax administration of funds in the Court’s Registry, IT IS ORDERED that the following shall govern the receipt, deposit, and investment of registry funds: I. A. B. C. II.

A. B.

Receipt of Funds No money shall be sent to the Court or its officers for deposit in the Court’s registry without a court order signed by the presiding judge in the case or proceeding. The party making the deposit or transferring funds to the Court’s registry shall serve the order permitting the deposit or transfer on the Clerk of Court. Unless provided for elsewhere in this Order, all monies ordered to be paid to the Court or received by its officers in any case pending or adjudicated shall be deposited with the Treasurer of the United States in the name and to the credit of this Court pursuant to 28 U.S.C. § 2041 through depositories designated by the Treasury to accept such deposit on its behalf. Investment of Registry Funds Where, by order of the Court, funds on deposit with the Court are to be placed in some form of interest-bearing account or invested in a court-approved, interest-bearing instrument in accordance with Rule 67 of the Federal Rules of Civil Procedure, the Court Registry Investment System (“CRIS”), administered by the Administrative Office of the United States Courts under 28 U.S.C. § 2045, shall be the only investment mechanism authorized.

Interpleader funds deposited under 28 U.S.C. § 1335 meet the IRS definition of a “Disputed Ownership Fund” (DOF), a taxable entity that requires tax administration. Unless otherwise ordered by the court, interpleader funds shall be deposited in the DOF established within the CRIS and administered by the Administrative Office of the United States Courts, which shall be responsible for meeting all DOF tax administration requirements. C. The Director of Administrative Office of the United States Courts is designated as custodian for all CRIS funds. The Director or the Director’s designee shall perform 118 D. E. F. the duties of custodian.

Funds held in the CRIS remain subject to the control and jurisdiction of the Court. Money from each case deposited in the CRIS shall be “pooled” together with those on deposit with Treasury to the credit of other courts in the CRIS and used to purchase Government Account Series securities through the Bureau of Public Debt, which will be held at Treasury, in an account in the name and to the credit of the Director of Administrative Office of the United States Courts. The pooled funds will be invested in accordance with the principles of the CRIS Investment Policy as approved by the Registry Monitoring Group. An account will be established in the CRIS Liquidity Fund titled in the name of the case giving rise to the deposit invested in the fund.

Income generated from fund investments will be distributed to each case based on the ratio each account’s principal and earnings has to the aggregate principal and income total in the fund after the CRIS fee has been applied. Reports showing the interest earned and the principal amounts contributed in each case will be prepared and distributed to each court participating in the CRIS and made available to litigants and/or their counsel. For each interpleader case under 28 U.S.C. § 1335, an account shall be established in the CRIS Disputed Ownership Fund, titled in the name of the case giving rise to the deposit invested in the fund. Income generated from fund investments will be distributed to each case after the DOF fee has been applied and tax withholdings have been deducted from the fund.

Reports showing the interest earned and the principal amounts contributed in each case will be available through the FedInvest/CMS application for each court participating in the CRIS and made available to litigants and/or their counsel. On appointment of an administrator authorized to incur expenses on behalf of the DOF in a case, the case DOF funds should be transferred to another investment account as directed by court order.

III.

Fees and Taxes A. B. The custodian is authorized and directed by this Order to deduct the CRIS fee of an annualized 10 basis points on assets on deposit for all CRIS funds, excluding the case funds held in the DOF, for the management of investments in the CRIS. According to the Court’s Miscellaneous Fee Schedule, the CRIS fee is assessed from interest earnings to the pool before a pro rata distribution of earnings is made to court cases. The custodian is authorized and directed by this Order to deduct the DOF fee of an annualized 20 basis points on assets on deposit in the DOF for management of investments and tax administration. According to the Court’s Miscellaneous Fee Schedule, the DOF fee is assessed from interest earnings to the pool before a pro rata distribution of earnings is made to court cases.

The custodian is further authorized and directed by this Order to withhold and pay federal taxes due on behalf of the DOF. 119 IV. Transition From Former Investment Procedure A. B. C. D. E . The Clerk of Court is further directed to develop a systematic method of redemption of all existing investments and their transfer to the CRIS.

Deposits to the CRIS DOF will not be transferred from any existing CRIS Funds. Only new deposits pursuant to 28 U.S.C. § 1335 from the effective date of this order will be placed in the CRIS DOF. Parties not wishing to transfer certain existing registry deposits into the CRIS may seek leave to transfer them to the litigants or their designees on proper motion and approval of the judge assigned to the specific case. This Order supersedes and abrogates all prior orders of this Court regarding the deposit and investment of registry funds.

The effective date of this order is, April 1, 2017, the date the CRIS DOF begins accepting deposits. 120 STANDING ORDER RE: INITIAL DISCOVERY DISCLOSURES (Effective November 20, 2018) This Order shall be entered in any case in which a self- represented inmate in the custody of the Connecticut Department of Correction (“DOC”) files suit against one or more employees of the State of Connecticut relating to events occurring during plaintiff’s incarceration. The Order shall be entered upon the filing of an Initial Review Order ordering service of the Complaint.

ORDER

The Complaint has been reviewed by the Court, and an Initial Review Order has been filed, allowing the Complaint to proceed to service of process on defendant(s). In order to assist in the efficient prosecution of this matter, the Court hereby enters the following Order: 1.

MATERIALS TO BE PROVIDED BY PLAINTIFF

Within 45 days from the appearance of any defendant, the self-represented plaintiff shall provide the following materials to counsel for the defendant(s): • A list of any witnesses believed to have relevant information regarding the claims in the Complaint. • A damages analysis, that is, a statement of any money damages claimed and the basis for such claims. The damages analysis must state the type of harm the plaintiff suffered, and the basis for any demand for financial compensation for the harm. • A statement of any non-monetary relief sought by plaintiff. • Copies of any grievances, complaints, notices, reports or correspondence in plaintiff’s possession that relate to the claims in the Complaint. 121 2. MATERIALS TO BE PROVIDED BY DEFENDANT(S) Within 45 days from the appearance of a defendant, counsel for that defendant shall provide the following materials to the self-represented plaintiff: • A list of any witnesses believed to have relevant information regarding the claims in the Complaint. • Copies of any grievances, complaints, notices, reports filed by the plaintiff, or correspondence from the plaintiff, in the possession of any individual defendant or the DOC that relate to the claims in the Complaint. • Copies of any incident reports, reports of investigation, disciplinary reports, or similar reports relating to the claims in the Complaint. • If the Complaint includes a claim relating to medical treatment, physical injuries, medication, mental illness, or other medical issues (whether physical or psychological), a copy of the plaintiff’s DOC medical records for the relevant time period set forth in the Complaint and/or the Initial Review Order.

If redactions are made to any materials disclosed, the disclosure must be accompanied by a privilege log indicating the basis for the redactions. 3.

PRESERVATION OF EVIDENCE

Counsel for the defendants shall immediately confer with any individual defendants and with staff at the correctional facility or facilities at which the events underlying the claims in the Complaint occurred and direct the defendants and staff to preserve any video recordings, whether made by stationary, surveillance, or handheld cameras, and any photographs, that may have captured the events giving rise to the Complaint. Failure to preserve relevant video recordings or photographs may result in the imposition of sanctions. Such materials need not be produced at this time, but must be preserved. 122 4.

OBJECTIONS

If either party seeks to be relieved from any of the requirements of this Order, a motion explaining the relief sought and the basis for that relief must be filed by the plaintiff within ten days of the docketing of this Order, and must be filed by a defendant within ten days of the appearance of that defendant’s counsel. 5.

AFFIRMATIVE DEFENSES

If a defendant asserts any affirmative defenses related to(a) failure to exhaust administrative remedies; (b) jurisdiction; or (c) release of the claims at issue; counsel for that defendant shall file a notice with the Court within 45 days of the appearance of the defendant, describing the defenses. 123 LOCAL RULES FOR MAGISTRATE JUDGES